N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the AlbitFation Between Name of Claimants Hubert D. and Pearl A. Anderson 94-04752 Name of Restxindent Nations Securities CASE SUMMARY In a claim flled with the National Association of Securities Dealers, Inc. on November 10,1994, Claimants Hubert D. and Pearl A. Anderson, who appeared Pro Se, alleged that Respondent Nations Securities, encouraged Claimants to inv

NASD Arbitration No. 94-04750 N.A.3.D. AWARD NATIONAL ASSQCTATTQW OF SBriTRTTTES nRAT.RRS. INC. In the matter o£ the Arbitration Between Wame of Claimant fa) Munroe L. Spivock Name of Regpondentfal James M. Benham The Benham Group Gregg M. Tiedeman RBPRESBHTATIQIT For Claimant: Munroe L. Spivock, Orinda, California For Respondents: Paul Urla, Esq., Boyd, Huffman & Williams, San Francisco, Califomia CASK INTOHMATION St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Mutter of the Arbitration Between Thomas J. Murray Award No. vs. 94^)4747 Name of Respondents Joseph Charles «& Associates, Inc. Paul Richman REPRESENTATION For Claimant, Thomas J. Murray ("Claimant") Steven Kramer, Esq., from the law firm of Steven Kramer & Associates, located in New York City. For Respondents, Joseph Charles & Associates, Inc. and Paul Richman, Esq.("Resp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theodore Grieco, Jr., Georgianna Grieco, Russell Mann as trustee for the Theodore Jacob Grieco Trust and the Joshua James Grieco Trust, and Georgianna Grieco as custodian for Theodore Jacob Grieco and Joshua James Grieco, (Claimants) v. First Union Securities, Inc., and John Francis Means, (Respondents) Case Number: 01-04363 Hearing Site: New York, New York REPRESENTATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASErOO-01376 Jeannine A. Marquis, claimant vs. Merrill Lynch, Pierce, Fenner & Smith & Hirak K. Biswas, respondents. ATTORNEYS: Claimant appeared Pro Se, Westerly, RI. For Respondents appeared Christopher D. Cavuoti Esq., in-house counsel, New York, NY. DATE FILED: March 31, 2000 CASE SUMMARY: Claimant alleged that respondent recommended a stock, Genesis Health Ventures, that were not

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECtlRITIES DEALERS In the Hatter o£ the Arbicration Between Name of Claimanta Robert A. amd Jeanne M. Snow 94-04746 Name of RespondentB Bear Steams & Coapany and Themias D'Arcangelo KEPgBgiyjATION ClaimantB, Robert A. and Jeanne M. Snow, ("the Snows) were represented by Tracy Pride Stoneman of Hills, Fresby & Anderson located in Dallas, Texas. Respondents, Bear Steams & Co., ("Bear Steams") and rni

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Pmdemid Securities, Inc. Cldmant, NASD No. 94-4745 Bruce H. McLean, Respondent. Representation For Claimant: Patricia Fit^atrick, Esq. of Pmdentid Securities; Inc.. New York, New Yoik For Respondent: Louis DeMers, Esq. of DeMers, Cdlison & Donovan, Sacramento, Cdifomia Case Information Statement of Claim filed: November 7, 1994 Cldmant's Sub

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between PaineWebber Incorporated. Cldmant. v. No. 94-04744 William H. Knips, Respondent. REPRFSENTATinN OF PARTIES PdneWebber Incorporated ("Claimant") was represented by Catherine J. Pratt, Esq., of PaineWebber Incoiporated, Los Angeles, Cdifomia. William H. Knips ("Respondent") was represented by Wayne E. Yehling, Esq., of DeConcini. McDondd, B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant JW Charles Securities, Inc. 93-04743 Name of Resoondent Jeffrey M. Salley CASE SUMMARY In a claim filed with the Nationd Association of Securities Deders, Inc. on November 12,1993, Claiinant JW Charies Securities, Inc., thi^ugh its rq>reisentative, Gi^g S. Glaser, alleged that Respondent Jeffrey Salley signed an employment agre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Cldmants Philip and Barbara J. Voi 94-04742 Name of Resnondent Smith Bamey Shearson, Inc. CASE SUMMARY In a claun filed with the Nationd Association of Deders, Inc. on November 19, 1994, Cldmants, Philip and Barbara J. Voi, who appeared Pro Se, dleged that Respondent, Smidi Barney Shearson, Inc., fdled te advise them about the potential